-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NHItgQh+RmKjydVwGwS46WzFQPDcQHQhuxhJ9HKuTriQeGLvYJrHO+40RSspXswt NkIaCh8Bd95INQO4BIDOcQ== 0001209191-09-056306.txt : 20091210 0001209191-09-056306.hdr.sgml : 20091210 20091210075109 ACCESSION NUMBER: 0001209191-09-056306 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20091209 FILED AS OF DATE: 20091210 DATE AS OF CHANGE: 20091210 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FROST PHILLIP MD ET AL CENTRAL INDEX KEY: 0000898860 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 091232212 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BLVD CITY: MIAMI STATE: FL ZIP: 33137-3227 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LADENBURG THALMANN FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0001029730 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 650701248 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 5164701000 MAIL ADDRESS: STREET 1: 590 MADISON AVENUE 34TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: GBI CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19990826 FORMER COMPANY: FORMER CONFORMED NAME: FROST HANNA CAPITAL GROUP INC DATE OF NAME CHANGE: 19961227 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Gamma Investments Trust CENTRAL INDEX KEY: 0001380896 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 091232211 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD, 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 FORMER NAME: FORMER CONFORMED NAME: Frost Gamma Investment Trust DATE OF NAME CHANGE: 20061113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Frost Nevada Investments Trust CENTRAL INDEX KEY: 0001464124 STATE OF INCORPORATION: FL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-15799 FILM NUMBER: 091232210 BUSINESS ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 BUSINESS PHONE: 305-575-6000 MAIL ADDRESS: STREET 1: 4400 BISCAYNE BOULEVARD STREET 2: 15TH FLOOR CITY: MIAMI STATE: FL ZIP: 33137 4 1 doc4.xml FORM 4 SUBMISSION X0303 4 2009-12-09 0 0001029730 LADENBURG THALMANN FINANCIAL SERVICES INC LTS 0000898860 FROST PHILLIP MD ET AL 4400 BISCAYNE BOULEVARD MIAMI FL 33137 1 0 1 0 0001380896 Frost Gamma Investments Trust 4400 BISCAYNE BOULEVARD 15TH FLOOR MIAMI FL 33137 0 0 1 0 0001464124 Frost Nevada Investments Trust 4400 BISCAYNE BOULEVARD 15TH FLOOR MIAMI FL 33137 0 0 1 0 Common Stock 2009-12-09 4 P 0 350000 0.55 A 9447399 I Frost Gamma Investments Trust Common Stock 43013431 I Frost Nevada Investments Trust These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee and Frost Gamma, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of two limited partners of Frost Gamma, L.P. The general partner of Frost Gamma, L.P. is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation. The Reporting Person is also the sole shareholder of Frost-Nevada Corporation. These securities are held by Frost Nevada Investments Trust, of which the Reporting Person is the trustee and Frost-Nevada, L.P. is the sole and exclusive beneficiary. The Reporting Person is one of five limited partners of Frost-Nevada, L.P. and the sole shareholder of Frost-Nevada Corporation, the sole general partner of Frost-Nevada, L.P. Exhibit 99--Joint Filer Information /s/ Phillip Frost, M.D. 2009-12-09 FROST GAMMA INVESTMENTS TRUST by: /s/ Phillip Frost, MD, Trustee 2009-12-09 FROST NEVADA INVESTMENTS TRUST by: /s/ Phillip Frost, MD, Trustee 2009-12-09 EX-99.4_308147 2 attachment1.htm EX-99 DOCUMENT 
JOINT FILER INFORMATION

NAME: 				Frost Gamma Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Ladenburg Thalmann Financial Services Inc. (LTS)

Date of Event Requiring
Statement:			December 9, 2009

				FROST GAMMA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee



NAME: 				Frost Nevada Investments Trust
ADDRESS:			4400 Biscayne Blvd
				Miami, FL 33137

Designated Filer:		Phillip Frost, M.D.

Issuer and Ticker Symbol: 	Ladenburg Thalmann Financial Services Inc. (LTS)

Date of Event Requiring
Statement:			December 9, 2009

				FROST NEVADA INVESTMENTS TRUST

				By:/s/ Phillip Frost, M.D.
				Phillip Frost, M.D., Trustee
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